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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2024

STOCK BROKERS: DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BMA WEALTH CREATORS LTD.  
DELAY IN SUBMISSION OF FORM II AND STATEMENT OF DEFENCE  DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND Rs.15,000
AWARD AMOUNT: RS.15,000

08-APR-2014 		 
2
History of entity/person BP EQUITIES PVT.LTD.  
MADE FALSE & DECEITFUL CLAIM BEFORE THE EXCHANGE  DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND
AWARD AMOUNT: RS.25,000

27-NOV-2019 		 
3
History of entity/person HDFC SECURITIES LTD.  
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES OF ARBITRAL TRIBUNAL  DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND Rs.10,000
AWARD AMOUNT: RS.10,000

09-OCT-2013 		 
4
History of entity/person IIFL SECURITIES LTD.  
EARNED WRONGFUL BROKERAGE  DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND Rs.5,00,000
AWARD AMOUNT: RS.5,00,000

25-JAN-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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